0
Guide for Governors
GUIDE FOR GOVERNORS OF FURTHER
EDUCATION COLLEGES
July 2015
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Guide for Governors
FOREWORD
Dr Mary McIvor - Director, Further Education Division
I am pleased to introduce this guide for governors of further education colleges.
Firstly, thank you for taking on the vital and challenging role of governor. The
Department values very highly the input of each and every governor. Secondly, I
know many of you have other roles, in other walks of life, so I appreciate that you
have made personal sacrifices and commitments to take on this responsibility.
As a consequence of the Department’s strategy, FE Means Business, and the
role of governing bodies in setting the college vision within this strategy, colleges
are now seen as a key agent for strengthening economic development and have
a crucial role to play in supporting business and innovation. Today’s employers
want a responsive public education and training system to supply the skills they
need and our schools, colleges and universities must understand these needs if
they are to contribute fully to our economic progress. International evidence
confirms that the strategic direction of the further education colleges in Northern
Ireland is the right one, particularly the strong economic focus that colleges bring
to their region.
Over the next few years, the further education sector has the ambition and the
capability to be at the forefront of providing Northern Ireland with a highly skilled
workforce which can compete with the rest of the world. We need to support local
businesses to enable them to compete in the global marketplace and take
advantage of new technologies to build and attract new business.
In your role as a governor, I know that you will work collectively with governing
body colleagues and the college management to ensure that your college
continues to deliver a curriculum which meets the needs of your local community,
your local businesses and your college learners in line with appointment targets.
If the governing body is to be effective, it needs you to bring your own skills and
experience to every meeting and every issue. You have a strong contribution to
make. Good governance adds real value and supports effective decision making
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Guide for Governors
within the college. Working in partnership with the Department, governing bodies
can ensure the focus on excellence in providing the skills needed for the
economy of today and tomorrow, and in being ambitious for learners.
I appreciate the continuing commitment and the time given by members of
governing bodies. Without your dedication, the sector would not be able to
perform its vital role in supporting enterprise, assisting communities and guiding
learners.
I hope you find the role worthwhile and fulfilling.
Dr Mary McIvor
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Guide for Governors
CONTENTS
FOREWORD
1
1.
INTRODUCTION
5
1.2
Further Education in Northern Ireland
7
2.
WHAT IS A GOVERNING BODY AND WHAT DOES IT DO?
10
2.1
Introduction
10
2.2
How does a Governing Body work?
10
2.3
Role of a Governing Body
13
2.4
Role of the Department
14
2.5
Strategic Planning
16
2.6
Audit and risk
19
2.7
Monitoring performance and the Health Check
19
2.8
Committees
21
2.9
The relationship between the Principal and the Governing Body
23
2.10
External relationships
25
2.11
Student discipline, suspension and appeals
25
2.12
Staffing issues
26
2.13
Estates
28
3.
WHAT IS A GOVERNOR AND WHAT DO THEY DO?
29
3.1
Introduction
29
3.2
Your membership of the Governing Body
29
3.3
Performance assessment, training and development
32
3.3.1
Performance assessment
32
3.3.2
Training and development
33
3.4
Roles on the Governing Body
34
3.4.1
The Chairperson
34
3.4.2
The Principal
35
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Guide for Governors
3.4.3
The Student member
36
3.4.4
The Staff member
37
3.4.5
Committee chairs
37
3.4.6
The Secretary
37
3.5
Asking questions and making decisions
39
3.6
Probity and Nolan Principles
40
3.7
Your liabilities as a governor
41
APPENDIX 1 WHAT ELSE DO I NEED TO KNOW AND READ
42
APPENDIX 2 COMPETENCE FRAMEWORK FOR GOVERNING BODIES
45
APPENDIX 3 USEFUL ABBREVIATIONS AND ACRONYMS
47
FACT SHEET 1: SEVEN PRINCIPLES OF PUBLIC LIFE
48
FACT SHEET 2: FUNDED LEARNING UNIT (FLU)
49
FACT SHEET 3: MAXIMUM STUDENT NUMBERS (MASN)
51
FACT SHEET 4: MEMBERSHIP OF THE GOVERNING BODY
52
FACT SHEET 5: LINE OF ACCOUNTABILITY
53
FACT SHEET 6: ANNUAL STRATEGIC PLANNING PROCESS
54
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1.
Guide for Governors
INTRODUCTION
You have been appointed by the Minister for
Employment and Learning to serve on the
Northern Ireland has six further
governing body of one of Northern Ireland’s
education colleges:
further education colleges. As well as
carrying a public profile, membership of a
college governing body brings a number of
responsibilities.
Along
with
your

Belfast Metropolitan College

Northern Regional College

North West Regional College

South Eastern Regional
fellow
College
governors, you share the responsibility of

Southern Regional College
overseeing the education and training of

South West College
thousands of people to develop the Northern
Ireland economy.
The governing body of each further education college is responsible for ensuring
the effective management of the college’s education and training provision, and
for planning the college’s future development. The governing body, together with
the principal as chief executive, constitutes the highest level of decision making
and has ultimate responsibility for all of the affairs of the college.
This guide provides information and advice for governing bodies and individual
governors. It is intended to be an introductory resource for governors. Appendix
1 contains a list of important publications and documents that every governor
should become familiar with. These provide the detail behind the guide and
should be read when reading the guide.
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Guide for Governors
1.1 About This Guide
Section 1
Section 2
Section 3
Appendix 1
Appendix 2
Appendix 3
Appendix 4
Overview of the Guide
Introduction
What is a Governing Body and what does it do?
What is a Governor and what do they do?
What else I need to know and read
Competence Framework for Governing Bodies
Useful Abbreviations and acronyms
Fact Sheets
This guide has been written with the needs of newly appointed governors in
mind. It will also serve as a useful reference tool for experienced governors.
It begins with a picture of what a governing body is and what it does (section 2).
Section 3 deals with the individual governor and contains information about
different types of governor and the various roles and responsibilities that
governors are expected to undertake. The appendices contain supplementary
information and links to key documents which will be useful to you in your role.
You should note that this guide is not a legally authoritative text.
The
authoritative definition of the powers and responsibilities of governors is that set
out within legislation and in the Instrument and Articles of Government of each
college.
Where reference is made to the 1997 Order, this refers to the Further Education
(Northern Ireland) Order 1997 which provides the statutory basis for further
education in Northern Ireland.
Feedback on the guide itself, in the light of your experience as a governor, would
be welcome.
Please send comments to the Department’s Further Education
Corporate Governance and Accountability Branch, Room 203, Adelaide House,
39-49 Adelaide Street, Belfast, BT2 8FD, or e-mail [email protected].
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Guide for Governors
1.2 Further Education in Northern Ireland
Further Education is defined by Article 3 of the 1997 Order as:
a. full-time and part-time education suitable to the requirements of persons over
compulsory school age (including vocational training); and
b. organised leisure-time occupation provided in conjunction with the provision of
such education.
Embedding a culture of lifelong learning in all
In 2013/14:
sections of the community is a key policy objective
for government and further education colleges have
a vital role to play in helping ensure that this
objective is achieved.
enrolments in the six Northern
Ireland further education
colleges.
The programmes offered by colleges can be
broadly split into two categories:
1
There were 180,825
25,833 of these enrolments
were full-time and 154,992
were part-time.
2
regulated and non-regulated enrolments.
141,778 were regulated
enrolments and 39,047 non-
Colleges offer courses from entry level to degree
3
level.
regulated
With a strong focus on professional and
technical qualifications, colleges tend to be more
Of the regulated enrolments,
100,226 were for further
influenced by the demands and requirements of
education; 11,576 for higher
their local communities than most other educational
education and 29,976 for
institutions.
essential skills.
50.5% of total enrolments were
Colleges cater for a wide range of the population
from school pupils through to adults up to and
by people aged 19 years and
under.
1
Regulated enrolments are those on courses that are at ‘level 3 or below’ and appear on the Register of Regulated
Qualifications (RRQ), which contains qualifications on both the Qualifications and Credit Framework and the National
Qualifications Framework or part of the Department’s Prescribed List of Approved Qualifications (PLAQ/Access list) and
Higher Education qualifications (‘level 4 and above’).
2
Non-regulated enrolments are those which potentially lead to a formal qualification (at ‘level 3 or below’) but do not
appear on the RRQ or where a qualification is not expected - typically hobby and leisure, or recreational courses.
3
Qualifications in Northern Ireland are grouped into nine levels, from entry level to level 8. The level refers to the difficulty
of each qualification. For example, entry-level qualifications recognise basic knowledge or skills, whilst level 8
qualifications recognise leading experts or practitioners in a particular field or profession.
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Guide for Governors
beyond retirement age. Participation is encouraged through flexibility of provision
at all levels, an increasing use of technology in teaching and learning and
through open and distance learning.
The main ways people study in colleges are:

full-time courses,

part-time courses (day and/or evening),

sandwich courses (courses with one or more extended periods of
placement in work within a period of full-time study, the work is an integral
part of the assessed award, and the student may be employed or
sponsored by an employer),

day and block release (part-time release from employment),

open learning workshops,

short courses for industry,

computer based learning, and

distance learning courses using e-learning techniques.
Colleges are also key delivery organisations for government funded schemes,
including
apprenticeships,
youth
training,
and
employment
schemes.
Programmes of study can therefore vary significantly from college to college.
The Department sets the strategic direction for the further education sector as a
whole in Northern Ireland. The current strategic document is Further Education
Means Business, which was introduced in 2004. Further Education Means
Business set out the following objectives for further education:
• to be a key driver of local, sub-regional and regional economic and workforce
development;
• to be an active agent for social cohesion; and
• to be a major promoter of lifelong learning.
Although it is for each individual college to establish its own strategy, and to
develop a curriculum offering education, training and other services to meet the
needs of learners and employers in its local area, everything should be built
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Guide for Governors
around these three objectives. Since the introduction of Further Education Means
Business, the sector’s profile as a provider of high-quality services has been
enhanced, increasing the influence of the sector over local and regional
economic planning.
A dedicated team within the Department is currently working to develop a new
Strategy which will take account of the new challenges and opportunities for the
sector. As key stakeholders, the views of governors, and those of the wider
college staff have been sought as the Strategy has been developed. The new
Strategy will be published in autumn 2015.
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Guide for Governors
2.
What is a Governing Body and what does it do?
Section Overview
2.1
2.2
2.3
2.4
2.5
2.6
2.7
2.8
2.9
2.10
2.11
2.12
2.13
2.1
Introduction
How does a Governing Body work?
Role of a Governing Body
Role of the Department
Strategic planning
Audit and risk
Monitoring performance and the Health Check
Committees
Relationship between the Principal and the Governing Body
External relationships
Student discipline, suspension and appeals
Staffing issues
Estates
Introduction
A governing body is the corporate board of a
further education college. It is responsible for
ensuring the efficient and effective management
of the college and that the college provides
suitable further education for students. Like all
Article 13 of the 1997
Order
A governing body has the
following responsibilities:
a. securing the efficient and
effective management of
the college; and
corporate boards, it must operate effective
governance systems and be seen to act in
accordance with the highest standard of propriety.
This chapter details what this means in practice,
what the role of the governing body is, how the
governing body functions and how it relates to its
external stakeholders.
2.2
How does a Governing Body work?
Governing bodies are legal entities established in
accordance with the Further Education (Northern
Ireland) Order 1997 and are accountable to the
b. that the institution
provides, or secures the
provision of, suitable and
efficient further education
to students of the college
with regard to the
provision of education
and the educational
needs of industry and
commerce and the
community in that area.
In meeting these
obligations the governing
body should have regard
to the requirements of
persons over compulsory
school age who have
learning difficulties.
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Guide for Governors
Minister for Employment and Learning. The members of a governing body are
appointed by the Minister. The governing body has to ensure that the college is
managed efficiently and effectively in line with statutory obligations and relevant
guidance from the Department of Finance and Personnel, and that there is
suitable and effective education for its students.
The principles applying to the conduct of meetings
of the governing body are the same as those
applying to a well-conducted meeting of any
similar body.
Most of the items of business
should be supported by a paper and minutes
Articles 14, 15 and 16 of
the 1997 Order
The main powers of a
governing body:
a.
should be taken of all decisions. The minutes
should be signed off by the Chair and submitted
to the Department by the Secretary. A governing
body will also have a number of committees which
b.
will deal with much of the detailed governing body
business. Further detail on the committee system
is in section 2.8.
d.
Staff and students of the college and members of
the general public should have access to
information
governing
about
body.
c.
the
proceedings
Agendas
and
of
minutes
the
to provide further,
higher and, under
particular
circumstances,
secondary education;
to charge fees and to
provide students with
appropriate financial or
other assistance;
to manage the
institution;
to supply goods or
services in connection
with their provision of
education, including
making available their
facilities and the
expertise of their staff.
of
meetings should be made available as soon as possible, by publication on the
website (see Articles of Government) and hard copy, if requested. The Secretary
and all members of the governing body should be aware of their obligations
under the Freedom of Information Act and Data Protection Act.
As with any other corporate board, it is important that there are robust processes
and systems in place and that these are complemented by an appropriate culture
on the board that encourages trust among members, a willingness to challenge
assumptions and beliefs and a willingness to critically assess individual and
collective performance to achieve better results. A governing body acts by
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Guide for Governors
making decisions within the constraints of legislation and good practice and
ensuring that those decisions are acted on.
The constitution and procedures of the governing body are covered by Articles
11 and 12 and Schedule 3 of the 1997 Order. Each governing body has Articles
and an Instrument of Government which set out conduct and constitution
respectively. Rules of procedure for the conduct of the governing body and
committee meetings (eg quorum, declarations of interest, etc) can be found in
the Articles of Government. A governing body may also have standing orders;
these are subservient to the Articles and Instrument. In addition, a governing
body is required to abide by the terms of the Management Statement/Financial
Memorandum, which is agreed between the college and the Department setting
out the terms and conditions under which funding is made available, and the
Audit Code. It is important that you are familiar with these documents. They
must be observed. Copies of the model Instrument and Articles are available on
the Department’s website; Model instrument of government and Model articles of
government
The Secretary will provide you with a copy of your college Instrument and
Articles.
The Secretary to the governing body should advise the Chair if, at any time, it
appears that the governing body is in breach of the rules and procedures.
The further education Code of Governance (see Appendix 1) sets out the
principles and provisions of governance in the sector. This has a supporting
scheme of delegation which details the tasks and duties associated with each
principle and provision. The Code and the scheme of delegation should be read
together.
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2.3
Guide for Governors
Role of a Governing Body
The 1997 Order and the Articles of Government define
the roles and responsibilities of the Principal and the
A governing body has 12
to 18 members, of whom:
a. One is the Chair who is
appointed by the
Department Minister,
governing body and its committees.
The governing body is responsible for ensuring that the
college, for which it is responsible, is managed
efficiently and effectively and that the professional,
technical and academic programmes of the college
reflect the college’s educational character and mission
b. Up to nine are appointed
by the Minister on the
basis that they are or
have been, engaged or
employed in business,
industry or any
profession;
c. one is the college
Principal;
and meet the strategic priorities which the Department
has set for further education. It is responsible for the
d. one or two are elected by
the staff of the college;
financial and academic performance of the college and
the quality of its teaching, learning and assessment.
The governing body must guide the strategy of the
college in line with the government’s priorities, and
e. one is elected by the
students of the college;
f. two are nominated by the
local education and
library board (now
Education Authority); and
provide and exercise both a support and challenge
function in respect of the Principal and the executive
team. Individual governing body members should bring
g. two may be co-opted by
the existing members of
the governing body
independence, objectivity, impartiality and expertise to
both the decision making and challenge processes within the college.
Governing bodies are entrusted with public funds and therefore have a particular
duty to observe the highest standards of corporate governance at all times and to
ensure that they are discharging their duties with due regard for the proper
conduct of public business.
The governing body is the highest level of decision making in the college and has
responsibility to lead by example. It must act and be seen to act in accordance
with the highest standards of propriety at all times.
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Guide for Governors
Governing bodies have specific roles in relation to staff, students, audit and risk
which are discussed later in the chapter. The role of the governing body is not to
manage the day-to-day running of the college, which includes organisation,
direction, and management of the college and leadership of the staff; this is the
responsibility of the Principal.
The governing body has an oversight role,
however, and should hold the Principal to account for these responsibilities.
2.4
Role of the Department
With effect from October 2010, the six colleges were reclassified as NonDepartmental Public Bodies following a determination by the Office of National
Statistics. This reclassification resulted in the Department having to realign the
administrative relationship with colleges and the wider further education sector,
as well as enacting changes to governance controls; most notably the
Management Statement/Financial Memorandum which sets out reporting
arrangements and the parameters under which the sector operates.
Details of the Department’s legislative powers in relation to further education
colleges (funding, appointments to governing body etc) can be found in Articles 4
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Guide for Governors
to 9 of the 1997 Order.
The Department sets the strategic direction for the
further education sector, including the policies, priorities and targets, which are
implemented through the annual College Development Planning process.
The Department is responsible for ensuring that all funding is used for its
designated purpose and has an oversight role in relation to annual, audited
accounts which the college must submit, showing that funding has been spent
appropriately. The Principal of the college, as college Accounting Officer, is held
to account by the Department. The Department’s Permanent Secretary, is
accountable to the Assembly/Parliament. In this way there is a line of authority
from each college to the Assembly.
The Management Statement/Financial Memorandum sets outs the terms and
conditions under which funding is made available to colleges and provides a
clear framework of strategic control for the college.
The Department produces regular health check reports for the use of the
governing body, providing a range of comparative information in financial,
economic, staffing, learning and quality areas. Further information is detailed in
section 2.7.
The Department has the ultimate power to intervene in the running of the college
if it feels that any individual member/members of or the governing body itself are
considered to be in breach of any of the respective responsibilities.
The Department appoints all of the members of the governing body, selecting
over half of the membership through public competition, adhering to the
Commissioner for Public Appointments in Northern Ireland Code of Practice. As
a governor, you will undergo induction training arranged by the Department.
Guidance materials such as this document will be provided by the Department.
The Department administers an annual assessment of governors. This process
is detailed in section 3.6.
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2.5
Guide for Governors
Strategic Planning
As the corporate board of the institution, a governing body needs to ensure that it
keeps a focus on the strategic direction and vision of the college. The Articles of
Government place responsibility on the governing body for determining, within
the framework of the 1997 Order, the educational character and mission of the
college. The governing body should take into account the advice and guidance
received from college management, particularly the Principal, one of whose
duties is to make proposals to the governing body about these aspects of college
governance. Governors should establish, in conjunction with the Principal, a
broad framework within which the college is to operate and develop and ensure
that it is the right one for its community.
The educational character of the college is the college’s broad purpose and
strategic direction, the nature of its educational programme, the pattern of its
courses, any special characteristics of the range of subjects taught, the overall
ethos of the college, its admissions policy and its relationship to the community it
serves. This includes the balance of provision within the college in terms of the
volume and breadth of:

professional and technical provision,

training provision,

academic provision,

higher level provision, and

recreational or leisure course provision.
While the educational character of the college is a complex concept, there is
benefit in producing a simplified mission statement which encapsulates the aims
of the college and the direction of its development. The Department encourages
each college to have and to publicise such a mission statement. This should be
kept under review as the focus and priorities of the college evolve.
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Guide for Governors
On a more regular basis, the governing body should be particularly concerned
with the development and delivery of medium and long term objectives for the
college. The College Development Plan (CDP) process is an annual, cyclical
exercise commissioned by the Department each autumn, which should facilitate
the governing body in carrying out this function. The Further Education Order
(Article 20) requires each college to submit a College Development Plan to the
Department on an annual basis. Colleges will prepare and submit 3-year
financial forecasts as part of this process.
Along with the financial reports, the College Development Plan assists the
governing body to make informed strategic decisions and manage resources in
accordance with its strategic priorities. As recipients of significant amounts of
public funds, colleges are required to produce annual business or strategic plans.
The Department issues guidance for the completion of the College Development
Plan on an annual basis. This guidance provides the key information on which
budget allocation decisions are made and communicated to the colleges in
April/May each year in advance of the incoming academic year.
The Department also publishes detailed analysis of sector and college
performance over the previous academic year. This information includes a range
of performance indicators, including retention, achievement and success, and
allows each college to benchmark itself against other colleges and against the
sector as a whole.
Figures 2.1 – 2.3 provide a brief summary of key aspects of a College
Development Plan, including its aims, key information it needs to present and
information a governing body will need to assess during the process.
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Guide for Governors
Figure 2.1
Figure 2.2
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Guide for Governors
Figure 2.3
2.6
Audit and risk
The management of audit and risk is a key role of the governing body. Each
governing body must have an audit and risk committee to oversee the internal
audit function and make recommendations to the full governing body based on
audit findings. The audit and risk committee also oversees the risk management
system in the college.
Risks for colleges can range from failure to recruit and/or retain the planned for
number of students to a failure to secure financial stability. The college should
put controls in place to ease the impact or likelihood of a risk occurring. The
status of each risk should be monitored on an ongoing basis.
2.7
Monitoring performance and the Health Check
A crucial part of the work of a governing body is the regular monitoring of all
aspects of the college’s performance. Whilst this is usually done through the
work of committees, which will report to the full governing body, it is essential
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Guide for Governors
that the governing body establishes what it wishes to monitor, how it will monitor
and agrees a reporting schedule with the Principal.
The Department provides the governing body with regular information to assist
with this role. This includes publication of a quarterly ‘health check’ on each
college. The document is a governance toolkit which has been developed to
assist the governing body to fulfil its strategic planning, scrutiny and oversight
roles.
It provides the governing body with an insight, into, among other things, the
financial, academic and efficiency performance of the college and brings together
data in relation to a variety of areas of whole college performance. It uses
information from the college and other external sources to provide a regular,
objective summary on the college’s performance. The provision of benchmarking
information is intended to allow the governing body to make cross-sector
comparisons about the performance of its college and inform decisions about its
future strategic direction.
As a governor, you should be able to use the health check to:

assess the financial health of the college from the financial ratios and
data;

assess the academic performance of the college from the retention,
achievement and success data;

assess the performance of the college against its enrolment targets;

identify and assess risks facing the college; and

assess reports from internal audit and the Education and Training
Inspectorate.
It is important that you gain an understanding of the data presented in the health
check. You may need to obtain briefing from your Chair or other governors to
assist you in this.
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2.8
Guide for Governors
Committees
The committees of a governing body are:
 Audit and Risk Committee
 Finance and General Purposes Committee
 Staffing Committee
 Education Committee
The governing body will delegate some of its work to committees. All colleges
are required to establish an audit and risk committee under the Further
Education (NI) Order 1997 and a finance and general purposes committee under
their Articles of Government. The governing body may also choose to establish
a staffing committee and an education committee.
The governing body can make decisions on the membership (numbering at least
four) and the terms of reference of any committees. Table 2.1 below gives details
of the membership of committees and the restrictions on membership.
Articles provide further detail.
Table 2.1 Governing Body Committees
The
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Guide for Governors
Each committee has a specific role in respect of the governance framework.
Table 2.2 details these roles and responsibilities.
Table 2.2 Roles and responsibilities of Committees
*Senior staff and any vacancies etc among the senior staff are considered by the full governing
body.
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Guide for Governors
The minutes of committee meetings should be circulated to all members of the
governing body within ten days of the meeting, either as the agreed or draft
version, subject to any confidentiality rules.
All committee meeting minutes
should be ratified by the full governing body.
The governing body may also choose to establish an academic board under the
terms of the Articles of Government. The role of an academic board includes:
 advising the Principal on the general oversight of the academic work of the
college, such as admission, assessment and examination of students,
curriculum development; and
 staff development and provisions for suspension or expulsion of students
for academic reasons.
2.9
The relationship between the Principal and the Governing Body
The Principal is the main liaison between the day to day running of the college,
for which he/she has responsibility, and the governing body. He/she will make
proposals to the governing body about the educational nature and mission of the
college. The Principal will also keep the governing body informed about the
college’s affairs, enabling the governing body to carry out the requirements of its
role. As a governing body, you will wish to take into account the advice and
guidance received from college management, particularly the Principal.
Governors should establish, in concert with the Principal, a broad framework
within which the college is to operate and develop and ensure that it is the right
one for the community served by the college.
The relationship between the Principal and the governing body is complex. On
the one hand, the Principal is a member of the governing body with an equal say
in discussions and decisions. On the other, he or she is appointed by the
governing body, is accountable to the governing body, and has his or her
performance assessed by the governing body.
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Guide for Governors
At the same time, the Department appoints the Principal as the Accounting
Officer for the college. The Accounting Officer is personally responsible for
safeguarding the public funds for which he/she has charge; for ensuring propriety
and regularity in the handling of those public funds; and for the day-to-day
operations and management of the college. The responsibilities are set out in
detail in the Management Statement/Financial Memorandum.
It should be noted that the governing body is separately responsible for
promoting the efficient, economic and effective use of staff and other resources
of the college.
This complex web of relationships, depicted at Figure 2.4, is designed to ensure
there are adequate checks and balances in the system. Each component of the
system has to give recognition to the responsibilities of the others while
ensuring that they fulfil their own responsibilities. Section C4 of the Code of
Governance also deals with this issue.
Figure 2.4
The Department
Governing
Body
Principal
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Guide for Governors
2.10 External
relationships
A
governing
should
body
have
an
understanding of the
college’s role in its
community and in the
development
broader
of
regional
interests, such as a
successful economy and an active labour market. A governing body has a role to
ensure that the Principal and other senior staff are aware of what demand exists
for particular courses, enabling appropriate provision to be made, as well as
being aware of broader social and economic needs. A governing body should
endeavour to have available a range of information to inform strategic decisions.
This includes an awareness of the direction of government policy for the sector,
as well as local conditions specific to each college.
Key external relationships which contribute to the development of the college’s
strategy include those with other education and training providers in the area in
particular with universities in the delivery of higher education provision in
colleges and with schools in the delivery of policies for 14 to 19 year olds, local
councils, planning agencies and employer organisations. Constructive and
reciprocal links with these bodies will assist the governing body in assessing the
region’s skills and training needs and in ascertaining what other provision is
available in the area.
2.11
Student discipline, suspension and appeals
Each college must have a student disciplinary code. This should be
approved, following consultation, between the governing body and the
academic board (where one exists) and student representatives. This
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Guide for Governors
disciplinary code should set out a code of conduct and
behaviour expected of all students and the procedures to
be followed should the code be breached.
The Principal may, without notice, expel a student for
gross misconduct or other serious cause. In the case of
an offence of general and habitual misconduct, the
Article 14(1) of the Further
Education Order 1997:
“The governing body of an
institution of further education
shall have the power— (i) to
enter into contracts, including in
particular (i) contracts for the
employment of teachers and
other staff”
Principal may suspend a student pending further
consideration as to the possibility of the student’s
expulsion. The Principal will advise the Chair of the
governing body, as soon as possible, of any case of
immediate expulsion or suspension. The Chair will inform
the governing body at the first opportunity.
Any student suspended or expelled is entitled to receive
notification of the suspension or expulsion from the
Principal. He or she is entitled to appeal to the governing
body. This includes a right to make oral representations
for which purposes a student may be accompanied by a
Paragraph 10 of Schedule 3 to
the 1997 Order:
“The terms and conditions of the
employees…shall be such as
may be determined by the
governing
body
after
consultation
with
representatives
of
the
employees concerned.”
Article 6(e) and 6(f) of the
articles of government:
the governing body shall not
delegate responsibility for the
following –
friend.
2.12
Staffing issues
Governing bodies are the employers of all staff in the
college. They hold the power and responsibility for
“the setting of pay and
conditions of service of senior
staff, other than to a body
established for the purposes of
negotiating
the
pay
and
conditions of service of senior
staff on behalf of colleges
generally”; and
entering into contracts with staff and have specific
responsibilities for staff under the terms of the Articles of
Government. For example, a governing body has direct
responsibility for the performance appraisal of the
Principal, but can delegate responsibility for the appraisal
of all other staff to the Principal, within an approved
framework.
“approving a framework for the
pay and conditions of service of
staff, other than senior staff, and
arranging for the negotiation of
such with the recognised
representatives of such staff”.
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Guide for Governors
The discipline of senior college staff is a matter for the governing body only and
cannot be delegated. The discipline of all other staff can be delegated to the
Principal. However, college staff, who have been subject to disciplinary
measures, retain the right to make an appeal to the governing body, once all
other steps have been exhausted.
Governing bodies have responsibility for the pay and conditions of staff but, in
line with the Articles, have delegated this to recognised negotiating committees
to provide forums for negotiating terms and conditions on a sector wide basis.
There are three negotiating committees in operation, one for each of the
following staff groups:
•
Principals and senior staff;
•
Lecturers; and
•
Support staff.
The remit of the negotiating committees extends to agreeing the terms (pay) and
conditions of the staff within the above groups. They comprise representatives
from both the employers and recognised unions.
All pay awards across the
further education sector are subject to approval by Department of Finance and
Personnel, under the Executive’s Public Sector Pay Policy.
It is likely that you will be involved in staffing issues during your time on the
governing body. It is, therefore, important that you are aware of your role as a
governor in this respect and of your college’s rules and procedures on staffing
matters. As with many issues, there is a demarcation of responsibilities between
the governing body and the Principal and these responsibilities are detailed in
the Articles of Government. It is also important that you are familiar with the
framework established by the negotiating committees as these govern many
issues.
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Guide for Governors
2.13
Estates
A governing body has responsibility for setting the strategy for the college’s
estate and the oversight of that strategy. This strategy should be underpinned by
the college’s curriculum planning.
The Department provides detailed guidance on the requirements for managing
the college estates.
The governing body should ensure that it monitors key
estates performance indicators and uses these to inform operational and
curriculum planning.
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Guide for Governors
3.
What is a Governor and what do they do?
Overview of section
3.1
3.2
3.3
3.4
3.5
3.6
3.7
3.1
Introduction
Your membership of the Governing Body
Performance assessment, training and development
Roles on the Governing Body
Asking questions and making decisions
Probity and Nolan principles
Your liabilities as a governor
Introduction
The role of the governor is a demanding one, in
addition to your corporate responsibilities as a
governing body member; you will have individual
responsibilities to observe the highest standards of
integrity. Observance of the guidelines laid down in
the documents in Appendix 1 should assist you to
Expenses, Allowances
and Remuneration
At the date of this guide,
governing body members are
not remunerated. This position
is under review and an update
will be provided to governing
body members in the event of a
change.
carry out your duties in line with good practice.
As a governor you are required by the Instrument of
Government for your college to uphold and abide by
a code of conduct as a condition of appointment.
This chapter provides detail on your role and the
Governors can claim for travel
and subsistence. No other
remuneration
is
allowed,
including for any duties as a
director of a college company.
Governing bodies will have a
schedule of allowances, which
properly reflect the costs
incurred.
These should not
exceed any rates which the
Department may determine.
way in which you should carry it out, the types of
members on a governing body, performance assessment and your liabilities as a
governor.
3.2
Your membership of the Governing Body
Governors are appointed for a fixed term of office of four years as specified in
your letter of appointment (or for one year if you are a student member). Your
membership will end on the specified date, but you may be eligible for
reappointment for a further term provided your performance has been deemed
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Guide for Governors
satisfactory during your first term; it is a Ministerial decision to reappoint
members.
Governing body members are appointed as individuals and should therefore act
as such on the governing body. The model of governance in further education
ensures that decisions are made on the basis of the experience and skills of
stakeholders.
While you will be classified as a particular type of governor, this classification is
for the purposes of the constitution of the governing body. It does not mean that
you have to represent the views of a particular group. Individuals are voting
members in their own right and you should make decisions based on the best
interests of your college.
The Department has a competence framework for governors which sets out
knowledge and skills required of individual members of a governing body and
governing bodies collectively. Details can be found in Appendix 2.
Each governing body should have a code of conduct which members are
required to uphold and abide by as a condition of appointment. This includes
adherence to the Nolan Principles set out in section 3.6.
You are also subject to employment law and legislation on data protection,
freedom of information, equal opportunities, race relations, fair employment,
health and safety and Section 75 of the Northern Ireland Act 1998.
The Secretary to your governing body will provide you with copies of the
Instrument and Articles of Government on appointment. You should ensure that
you also receive copies of the following documents, specific to your college:

the most recent college development plan,

the most recent annual report,

the most recent financial forecast and current budget,

key personnel policies and procedures,
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Guide for Governors

the college’s equality scheme,

student disciplinary procedures and charter, and

the college’s freedom of information policy document.
You should comply at all times with the Code of Governance (section 2.2) and
Instrument and Articles of Government adopted by the college and with the rules
and guidance relating to use of public funds and to conflicts of interest.
The governing body will, at times, need to seek professional advice e.g. a legal
opinion. If you are a member of a profession from which advice is sought, you
should take care not to be put in the position of offering advice to the governing
body. Similarly, while you should contribute to the debate in your role as a
governor and contribute on the basis of your skills, you should seek to avoid any
conflict of interest and not offer any professional opinion which may influence
decisions on how to proceed. Formal professional opinion should be sought from
the governing body’s appointed professional advisers in the appropriate field.
During your period of governing body membership, you may resign at any time
by giving notice in writing to the Secretary of the governing body (not the
Principal of the college or Chair of the governing body). It is the responsibility of
the Secretary to inform the relevant parties on the governing body and the
Department of a resignation in writing (by letter or email), enclosing the original
letter of resignation. The membership of a governor who is the Principal of the
college or a staff or student member lapses when he or she ceases to be the
Principal, a member of staff or a student at the college respectively, or at the
date specified on his/her minute of appointment.
There may also be instances when you become disqualified from membership of
a governing body. These are specified in Schedule 1 to the Instrument of
Government. You should familiarise yourself with this list and, if your
circumstances change in a way that might render you ineligible to serve on the
governing body, you must inform the Secretary. The Instrument of Government
also defines the circumstances in which a governing body must inform the
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Guide for Governors
Department that a governor should be removed from office, for example, for poor
attendance or a breach of the code of conduct. If the Department receives such a
request, it will inform the governor and he or she will have an opportunity to
respond before any decision is reached.
3.3
Performance assessment, training and development
3.3.1 Performance assessment
As detailed in your terms and conditions of appointment, you should expect your
performance to be appraised on an annual basis by the Chair of your governing
body. You will be assessed based on the competence framework for governing
body members, details of which are set out in circular FE 05/12 Knowledge,
Skills and Competences of Governing Body Members (see Appendix 1). Your
performance will be discussed between you and the Chair, and both will sign the
assessment. The Department will receive a copy of your completed assessment.
For your appointment to continue for the remainder of your term or, for you to be
considered for re-appointment at the end of your term, your performance
appraisal report must be satisfactory. An unsatisfactory appraisal report may
contribute to certain actions being taken, which could ultimately lead to
termination of appointment.
In the event that you apply for another public appointment, the Department will,
on request, provide the appointing department with information relating to your
performance as a member of the governing body.
Your individual assessment is part of an annual performance assessment
process, details of which are set out in circular FE 06/12 Assessment of Chairs
and Members of Governing Bodies (see Appendix 1). This process also includes
an assessment of the governing body’s overall performance. This assessment
takes the form of a questionnaire which individual members are asked to
complete. The Department administers the process, and each governing body
will be provided with an analysis summarising both its governing body responses
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Guide for Governors
and responses across the sector. This information will be useful both to your
governing body, as an assessment of its strengths and weaknesses, and to the
Department, as it provides a means to assess the operation of the governing
body.
As part of the governing body self-assessment, you will be asked to provide a
view on the performance of your Chair. The collective views of your governing
body will form part of the Chair’s annual assessment. The Chair’s assessment
will also consist of a self-assessment and an assessment by the Department.
Although the Department administers this annual process, the governing body
should also develop a basis for the regular monitoring of its own performance in
carrying out its responsibilities. This should include identification and recording
of any areas where development or training for governors might be helpful.
The governing body should have formal procedures in place for regular appraisal
of the Principal based on areas of performance and associated indicators
determined by the governing body.
3.3.2 Training and development
As a new governor, you will be invited to attend an induction session arranged by
the Department. You will also receive induction at your specific college. This
should include a briefing on the organisation, its structure, and its allocation of
managerial roles and responsibilities.
You may wish to arrange to visit the college during term time to meet staff and
students as a way of getting to know the college.
For those of you who become members of your college Audit and Risk
Committee, the Department will provide training.
Beyond this, governors themselves and the governing body as a whole are
responsible for ensuring that other training and development needs are met.
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3.4
Guide for Governors
Roles on the Governing Body
You should be aware that there are different ways in which individuals can
become members of a governing body, and, once appointed, there are different
roles which governors can perform. This section provides detail on the different
roles and types of member.
3.4.1 The Chair
The Chair is the most important role on the governing body. He or she is
appointed by the Department’s Minister following a public competition. The Chair
has a particular responsibility for providing effective strategic leadership to the
governing body and for ensuring it fulfils its role effectively.
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Guide for Governors
The Department usually communicates with the governing body through the
Chair and the Secretary. Nevertheless, an individual member may approach the
Department on any matter which he or she believes raises important issues
relating to his or her duties as a member. It is an implicit expectation that the
governing body will authorise the Chair to act on its behalf between meetings
and to report items of Chair’s action to the governing body at its regular
meetings, particularly action agreed with the Principal on matters delegated by
the governing body.
3.4.2 The Principal
The principal is both the Chief Executive and Accounting Officer of the college.
He or she is accountable to the governing body and, in addition, is accountable
to the Permanent Secretary of the Department for all aspects of the college’s
expenditure of public funds. The Principal’s responsibilities include the day to day
running of the college, supplying the governing body with the information it
requires and ensuring the proper use of public money. A more detailed summary
can found below. A full list can be found in the Articles of Government, with
responsibilities of the Principal as college Accounting Officer detailed within the
Management Statement/Financial Memorandum.
It should be noted that the Principal also has a governance role like any other
governor.
Further information on the relationship between the Principal and governing body
can be found in section 2.9.
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Guide for Governors
Along with the Chair, the Principal is the visible, public face of the college. It is,
therefore, essential that they fulfil their duties in a way which inspires the
confidence and trust of the staff and students. The Principal also has a public
role, representing the college to the outside world. The governing body will be
concerned with ensuring, as far as possible, that all such activities present the
college in a good light, and one which is consistent with the mission, aims and
objectives set by the governing body.
3.4.3 The student member
The student member of the governing body is elected by the student population
of the college, although he/she is not on the governing body to represent the
student body. His/her role is to bring the learner perspective to the decision
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Guide for Governors
making process in the college. Like any other governor, he/she must make
decisions based on the best interests of the college.
3.4.4 The staff member
The staff members of the governing body are elected by the staff of the college.
The Further Education (NI) Order 1997 makes provision for either one or two
staff governors. As with the student member, these elections are in accordance
with the rules made by the governing body. The staff members are in the same
position as the student member in respect of their role on the governing body;
they should bring the perspective of staff to the decision making process but not
represent staff on the governing body.
3.4.5 Chairs of Committees
Each committee of the governing body will be chaired by a governor elected from
the committee’s membership. Some committees have restrictions about who can
serve as chair (Section 2.8 contains further information). The Principal, staff and
student members cannot chair any committee. Chairs have important positions
on the governing body, making sure that committee business is conducted
properly and that committee members are able to ask and receive appropriate
answers. They also have to report on the work of each committee to the
governing body and obtain ratification of the committee’s decisions.
3.4.6 The Secretary
The Secretary to the governing body is responsible for organising the proper
conduct of the business of the governing body. The Secretary is an employee of
the college but works directly for the governing body and does not hold any other
position in the college. He/she is not a member of the governing body.
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Guide for Governors
The Secretary must be familiar with the documents in Appendix 1 to be able to
carry out their duties. If you require any of these documents, or have any issues
or queries regarding your governing body or its work, you should speak with your
Secretary.
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Guide for Governors
3.5
Asking questions and making decisions
Gifts and Hospitality
You should make sure you are well prepared for each
meeting by carefully reading minutes of previous
meetings, papers supplied by the Secretary and any
other
correspondence,
and
giving
thorough
consideration to executive proposals. The strength of
the governing body is dependent on the quality and
variety of the contributions made by you and your
fellow governors. These contributions should not be
limited to formal meetings, but should be extended to
working groups and committees looking at particular
issues on behalf of the governing body. Much of the
more detailed work of the governing body is carried out
at the committee level and you are encouraged to join
committees.
Your decisions on all subjects must be taken on merit
and with the overall interests of the college in mind,
and not on the basis of the interests of any particular
group. You should only agree to a particular course of
As a governor, you occupy
a high-profile position in the
college and you may, from
time to time, be offered gifts
or hospitality by other
people or organisations. In
these situations, you should
consider
whether
acceptance of the offer
would in any way be seen
as
influencing
your
approach to any issue
facing the governing body.
Any gifts or hospitality you
do accept should be
recorded in the register of
interests.
The governing body should
maintain guidelines on the
proper approach to dealing
with gifts or hospitality. You
may also find it helpful to
discuss with the Chair or
the Secretary to determine
whether acceptance would
be
in
any
way
inappropriate.
action if you are satisfied that it is in the best interests
of the college and its students.
While you may find yourself asking questions which appear overly simplistic, it is
often answers to simple questions which are the most informative. You should
be wary of agreeing with a decision simply because it reflects the majority
opinion within the governing body. If you are not convinced that all realistic
alternative courses of action have been fully considered and that the decision is
supported by relevant evidence, you should not be afraid to raise it at the
meeting. The best boards have members who are willing to challenge one
another and are able to do so within a constructive environment which
encourages discussion.
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Guide for Governors
You should be aware that once a decision has been made, you are bound by the
collective decision of the governing body, even if you disagree with that decision.
3.6
Probity and Nolan Principles
As a governor, you have a responsibility to observe the highest standards of
integrity, at both a corporate and personal level, as is appropriate to a publicly
funded position. You should refer to the terms and conditions of appointment
provided with your minute of appointment and be familiar with these
requirements. Supplementary to this, everyone in public life must adhere to the
Nolan Principles, established by the Committee on Standards in Public Life.
This committee was set up in 1994 and has its own website www.publicstandards.gov.uk. The Nolan Committee made important recommendations
relevant to the governance of further education institutions including:

the appointment and training of governors,

openness,

codes of conduct,

conflicts of interest,

whistle blowing, and

the limits of commercial confidentiality.
The Principles of Public
Life (The Nolan
Principles)
 Selflessness

Integrity

Objectivity

Accountability
Following these recommendations, the committee

Openness
drew up seven principles of public life as a yardstick

Honesty
against which public service may be measured.

Leadership
Details of these can be found in Schedule 2 of the
Instrument of Government and in Fact Sheet 1 of this
guide.
Every college is required by the Instrument of Government to maintain a register
of members’ interests which records any material interests that each governor
holds which could be perceived to have a bearing on any decisions coming
before the governing body. Every member is required to enter all business
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Guide for Governors
interests held, his/her membership of any other public bodies, any positions held
that might give rise to a perceived conflict of interest, the names of any relatives
who work at the college and a declaration of any significant political activity
undertaken in the five years prior to appointment.
It is the responsibility of each governor to ensure that his/her entry in the register
is kept up to date. An opportunity to update entries in the register should form
part of the agenda of each full governing body meeting.
During your time on the governing body, it is likely that you will face some kind of
conflict of interest. If any issue coming before the governing body has, or could
be perceived to have, the potential to conflict with your stated interests held in
the register, you should declare the interest and withdraw from discussion of the
issue. There may be instances where the potential conflict of interest is not clear
cut; on these occasions, you should discuss the issues with the Chair in advance
of the meeting. If the potential conflict is not felt to be prejudicial to the issue up
for discussion, you need not withdraw. You should, however, withdraw from the
discussion of any issues where there is a possible personal financial benefit or
any financial benefit to your friends or relatives.
The Principal, staff and student members must also withdraw from discussions
when the issue concerns their positions as a Principal, member of staff or
student. Schedule 4 to the Instrument of Government sets out the conditions
under which these members are required to withdraw.
3.7
Your liabilities as a governor
The law relating to the personal liability of board members is complex and its
interpretation is ultimately a matter for the courts.
As long as a member has acted honestly and in good faith, they are indemnified
by the Department against individual civil liability in the course of carrying out
their responsibilities for the governing body. This indemnity does not protect a
member who acts recklessly or in bad faith.
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Guide for Governors
Appendix 1 What else do I need to know and read
This appendix provides details of documents that you should obtain copies of
and be familiar with – this guide should be viewed as a complement to them and
not a substitute. Your governing body Secretary will be able to provide you with
copies.
The following diagram illustrates the relationship between the documents, with
the Further Education Order the most important.
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Guide for Governors
The Further Education (Northern
Ireland) Order 1997 - provides the
statutory basis for further education in
Northern Ireland. It establishes the role
and powers of the Department and the
governing
body.
In
terms
of
governance, all other documents are
subordinate to the Order and subject to
its provisions.
Instrument of Government - made
under the powers of the Further
Education (Northern Ireland) Order
1997, the Instrument sets out the
composition of the governing body
and arrangements for the appointment
of its members.
Articles of Government - made
under the powers of the Further
Education (Northern Ireland) Order
1997, the Articles govern the
committee structure, the proceedings,
and the duties of the governing body.
They also determine the matters
which are reserved to the governing
body and those which can be
delegated to the Principal.
Standing Orders - made under the
powers of the Articles, these may be
procedural rules relating to the
conduct of governing body business.
These are internal to the college and
are not subject to approval by the
Department. They must, however, be
fully compliant with the Articles and
Instrument and take account of all
other regulatory documents.
Management Statement/ Financial Memorandum - set out the terms and conditions
under which the Department makes funding available to colleges. It defines the
framework which helps to ensure that the funds which are made available for further
education are used effectively and efficiently and only used for the purpose for which
they have been allocated. They also set out the respective responsibilities of the
Department and the college, especially with regard to the planning, budgeting and
control of resources. It reflects the requirements of Managing Public Money Northern
Ireland.
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Guide for Governors
Audit Code – this sets out the
Department's requirements in
relation to internal audit and the
requirements of the Northern
Ireland Audit Office in relation to
external audit. It also provides a
framework within which further
education colleges and governing
bodies should operate.
Code of Governance (FE04/12) –
this summarises the principles and
provisions of the governance
arrangements, and includes a
scheme of delegation intended to
clarify roles and responsibilities.
Knowledge,
Skills
and
Competences
of
Governing
Body Members (FE05/12) - this is
an
information
document
introducing the framework for
recruitment and selection of
members of governing bodies. It
sets out the knowledge, skills and
competences required of members
of governing bodies and governing
bodies collectively.
Assessment of Chairs and
Members of Governing Bodies
(FE06/12) - this document outlines the
method of assessment for both Chairs
and members of governing bodies.
The assessment process has been
designed with reference to standard
practices in use elsewhere in the
public sector and adapted as
necessary to remain consistent with
the competence framework (FE05/12)
Further
Education
Means
Business - this is the current
strategy for the sector. The policies
which flow from it aim to strengthen
economic development, enhance
social cohesion and advance the
individual’s skills and learning.
College Development Plan (CDP) –
this is the annual strategic plan of the
college. It is a requirement of the
Further Education (Northern Ireland)
Order 1997 that each college produces
and implements a CDP. The CDP
forms part of the annual strategic
planning framework and includes
financial forecasting data. It enables
the governing body to make informed
strategic decisions and manage its
resources in accordance with its
strategic priorities.
Accounts Direction - this circular sets
out the requirements for colleges to
prepare Annual Report and Financial
Statements. It is updated and issued
every year.
Health Check - the Department
produces a health check for each
college three times a year. It brings
together information across a wide
range of activities, both quantitative
and qualitative, in order to provide a
broad picture of college performance
within a single document.
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Guide for Governors
Appendix 2 Competence Framework for Further Education Governing Bodies
Competence Framework for Further Education Governing Bodies
Providing Effective Governance
Ensuring Accountability
Specified Functions
Ensures the provision of suitable and efficient
further education and to ensure the effective
and efficient management of the college by:
Ensures the college provides value for money
and provides for the proper stewardship of
public funds by:
Providing Leadership
Demonstrating Financial Expertise
Ensures that the college executive
receives appropriate support and that
designated operational functions are
performed in a professional manner by:
Providing a Human Resource function
Provides leadership to the college by:
 providing clear direction to achieve college
objectives
 communicating college objectives to
internal and external stakeholders
 demonstrates integrity and probity at all
times
Providing Strategic Planning
Determine objectives and ensures college
performance by:
 using the framework established by the
Minister and the Department to set the
college’s strategy.
 seeks and implements ways of monitoring
and improving performance.
 makes decisions to ensure organisational
success and ongoing viability.
Demonstrates expertise by:
 delivering financial services to meet the
organisation’s needs
 effective budgeting to ensure
organisational success
 interpreting financial information to monitor
organisational performance
Demonstrating Risk Management Expertise
Demonstrating expertise by:
 developing and promoting risk
management best practice across the
organisation
 identifying emerging risks at a strategic
level
 advising, challenging, and providing
oversight of organisational compliance with
Departmental, DFP, and HM Treasury
standards for risk management.
Performing designated human resource
functions in a professional and efficient
manner by:
 making disciplinary decisions based
on the appropriate policies, sector
wide agreements, and legislative
frameworks
Supporting the College Executive
Providing support to the college executive
by:
 scrutinising plans and proposals
 giving constructive feedback
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Analysing and Using Evidence
Makes decisions and solves problems in a team
and organisational environment by:
 using information to understand
performance and make decisions.
 understanding how to focus on issues
which are the most significant.
Building Knowledge and Capability
Ensures that individual and collective knowledge
and skills support the needs of the Governing
Body by:
 developing knowledge of the Further
Education sector.
 developing knowledge and skills in order to
meet business needs.
 works collaboratively in ways which
improve collective performance.
 demonstrate knowledge of corporate
governance in the public sector.
Providing effective oversight of audit procedures
Ensures the college provides effective audit
procedures by:
 ensuring the college complies with all
Departmental, Department of Finance and
Personnel and Her Majesty’s Treasury
guidance and instructions.
 monitoring and assessing the
effectiveness of the organisation’s audit
facilities.
Holding the Chief Executive to account
Managing the performance of the Principal by:
 agreeing performance objectives and
targets
 monitoring performance against these
 conducting an annual appraisal
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Appendix 3 Useful Abbreviations and Acronyms
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FACT SHEET 1:
Seven Principles of Public Life
Selflessness:
Holders of public office should take decisions solely in terms of the interest of the
public. They should not do so in order to gain financial or other material benefits for
themselves, their families or their friends.
Integrity:
Holders of public office should not place themselves under any financial or other
obligation to outside individuals or organisations that might influence them in the
performance of their official duties.
Objectivity:
In carrying out public business, including making appointments, awarding contracts,
and recommending individuals for rewards and benefits, holders of public office should
make choices on merit alone.
Accountability:
Holders of public office are accountable for their decisions and actions to the public and
must submit themselves to whatever scrutiny is appropriate to their office.
Openness:
Holders of public office should be as open as possible about all the decisions and
actions that they take.
They should give reasons for their decisions and restrict
information only when the wider public interest clearly demands this.
Honesty:
Holders of public office have a duty to declare any private interest relating to their public
office duties and to take steps to resolve any conflicts arising in a way that protects the
public interest.
Leadership:
Holders of public office should promote and support these principles by leadership and
example.
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FACT SHEET 2: FUNDED LEARNING UNIT (FLU)
What is a Funded Learning Unit?
Funded Learning Unit or FLU is the name given to a unit of measurement used in the
funding process for further education. FLUs are calculated by converting student
enrolment data into quantifiable units by means of a Departmental funding formula.
Each FLU has a value of £3,400.
The FLU mechanism is part of the overall further education planning model and
determines funding allocations that enable colleges to deliver mainstream further
education provision, Essential Skills provision and higher education provision in
colleges.
How is the FLU used to allocate the block grant?
As part of the wider funding process, colleges submit College Development Plans to
the Department, which set out the number of enrolments and FLUs each college
hopes to provide for the next three years across broad policy areas.
The Department and the colleges then enter a bilateral process to examine these
submissions, taking into account such factors as college performance, historic
provision, available budget and strategic priorities for the Department, before
ultimately establishing how much provision will be delivered, the targets to be
achieved (both in terms of enrolments and FLUs), and the funding allocated.
Measurement against these targets is carried out at various points throughout the
year by collecting student enrolment data and converting them into FLUs using the
FLU funding formula.
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Guide for Governors
How is FLU calculated?
Step 1
Full Time enrolments generate one third of a FLU at each of the following three
trigger dates if the student is recorded as being in attendance at that date: 1st
November, 1st February and 15th May. Withdrawal before the 1 st November means
that no FLUs are generated.
Part Time enrolments generate FLUs only if the student completes at least 1/9 th of
their course. FLUs are generated by dividing the number of timetabled hours
recorded for that enrolment by a standard divisor of 720.
Step 2
Weightings are then applied depending on the level and subject area of the course.
Enrolments at Level 1 and below receive no weighting for course level and no
weighting for subject area, with the exception of enrolments in ESOL and ES which
attract a subject weighting of 1.8, and also specified IT courses which attract a
weighting of 1.4.
Enrolments at Level 2 and above receive a weighting of 1.1 in respect of course
level, and a subject weighting of either, 1.0, 1.2, 1.4, 1.6 or 1.8, depending on the
subject area.
Step 3
A further FLU element is added to each enrolment to reflect the level of deprivation
identified in the catchment area for each college, based on the NI Multiple
Deprivation Measures.
A college-specific Disadvantage Weighting (1.0 for NRC and SERC, 1.1 for SRC
and SWC and 1.2 for BMC and NWRC) is applied to 1% of the FLU already
generated by each enrolment and added to the existing FLU total.
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Guide for Governors
FACT SHEET 3: Maximum Student Numbers
The number of full-time undergraduate places at each higher education provider
institution in Northern Ireland is subject to a cap as a means of controlling the cost to
Government of higher education.
The cap was introduced in 1994 and is known as the Maximum Student Number
(MaSN). It was introduced to constrain escalating public expenditure on demand led
student support costs.
The MaSN does not apply to part-time undergraduates, postgraduates (with the
exception of a Post Graduate Certificate in Education and some social work places)
to students from outside the European Union - nor does it now apply to students
from the rest of Great Britain.
Over the last few years the Department has conducted a phased reallocation of
MaSN places across the higher education in further education sector to ensure that:

the MaSN allocations represented an equitable and rational distribution of
places to secure maximum recruitment and uptake of available places, and

the allocations reflected available evidence of existing demand and potential
future demand.
The reallocations also aimed to achieve a number of key Departmental objectives
including the promotion of Priority Skills, Science Technology Engineering and
Mathematics (STEM), the introduction of Foundation Degrees and widening
participation in higher education across Northern Ireland.
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FACT SHEET 4: MEMBERSHIP OF THE GOVERNING BODY
The Governing Body
Chair
Student
Staff
Business, Industry and
any Profession
Education and Library
Board/
Education Authority
Co-Optees
Principal
One Member
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Guide for Governors
FACT SHEET 5: LINE OF ACCOUNTABILITY
The Department
Governing Body
Audit and Risk
Committee
Finance and
General Purposes
Committee
Staff
Committee
Education
Committee
Principal
Senior Management
College Staff
Academic
Board
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FACT SHEET 6: Annual Strategic Planning Process